Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Wittenberg is a financial advisor with UBS Financial Services Inc., a firm with over 700 billion dollars in assets under management. Eric has been in the financial services industry since 1988 and is registered in 32 states. Eric has experience in portfolio management for both businesses and individuals, as well as financial planning and pension consulting. Eric is also an advisory board member for Destileria Caneca, a premium spirits distiller.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
11/23/2015 - Present
UBS Financial Services Inc. (New York NY)
NY
12/07/2007 - 12/17/2015
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
11/27/2002 - 12/10/2007
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
01/10/1997 - 12/09/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
03/31/1992 - 02/03/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
02/06/1989 - 04/22/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
08/11/1988 - 02/13/1989
ADVEST, INC.
BOTH
Issued 11/29/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/21/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 07/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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